New Issues. In connection with certain public offerings of securities, after a registration statement has been filed, you may be permitted to enter a conditional offer expressing your offer to purchase securities “when and if issued.” You understand that a conditional offer is an offer to purchase public offering securities which (i) cannot be accepted until such time (the "Time of Effectiveness") as the public offering securities have been effectively registered, but (ii) may be accepted, in whole or in part, immediately upon such Time of Effectiveness without any further action or consent on your part. You will be entitled to cancel any conditional offer at any time prior to the time that the Time of Effectiveness has occurred and your offer accepted. Each conditional offer or subscription will be authorized by you and accepted with the understanding that an actual purchase is intended and that it is your obligation to pay for the purchase upon our demand. HTS and your Financial Professional’s processing of any conditional offer or subscription will be subject to certain rules and regulations, which are subject to change at any time without notice. You understand that entering a conditional offer or a subscription in no way entitles you to purchase any securities, and that HTS and your Financial Professional reserves discretion to reject any offer for any reason, to allocate securities on any basis, or to change methods for allocating securities at any time and without notice. You also understand that HTS and your Financial Professional may require that your account contain available funds equal to or greater than the purchase price reflected by your offer. Any offer inadvertently accepted without sufficient funds in your account will be subject, at HTS’s discretion, to cancellation or liquidation. You are responsible for your offers, including any purchases which exceed available funds. If funds are not available in the account and an offer is accepted, your payment must be immediately submitted to HTS. If payment is not received, or as market conditions warrant, at HTS’s discretion, your account may be liquidated without prior notice. In the event your account is liquidated, you will be liable for resulting losses and all associated costs incurred by HTS.
New Issues. A recipient of capital stock issued by the Company shall, upon the request of the Company, become party to and agree to be bound by the terms of this Agreement and shall evidence the same by executing an addendum to this Agreement promptly upon receipt of such capital stock. Upon such execution of an addendum, Exhibit A of this Agreement will be deemed to be amended to reflect such issuance.
New Issues. 3.1 The Company shall be free to issue, free from any pre-emption rights, any Shares of any class or grant any rights to subscribe for or convert or exchange securities into shares of any class (“New Shares”) to any person (and the Shareholders shall do all acts and things in their capacity as Shareholders as are reasonably required or appropriate to ensure that the Company may issue such securities):
New Issues. Provide some or all of the following services with respect to Client’s new Issue(s):
New Issues. Except as set forth in Sections 2.2 or 2.3 of this Warrant, nothing in this Warrant entitles Holder to participate in a new issue of securities by the Company, unless this Warrant is exercised.
New Issues. EACH APPLICANT MUST FULLY COMPLETE THIS SECTION TO BE ELIGIBLE TO PARTICIPATE IN “NEW ISSUE” SECURITIES. The applicant must complete this Section in order for the Fund to be able to determine the extent to which the applicant may participate in “new issue” securities (“New Issues”) in accordance with the applicable rules of the Financial Industry Regulatory Authority, Inc. (“FINRA”). If the applicant is a corporation, partnership, trust or any other entity or a nominee for another person, the person completing this Section with respect to the applicant must be the beneficial owner(s), a person authorized to represent the beneficial owner(s), or a bank, foreign bank, broker-dealer, investment adviser or other conduit acting on behalf of the beneficial owner(s).
New Issues. In the event the General Partner determines that, based upon tax or regulatory reasons, including, but not limited to, the FINRA rules on participation in “new issues,” or any other reason as to which the General Partner and any Partner agree, a Partner should not participate, or participate only to a limited extent, in the income, gains, losses or expenses, if any, attributable to trading in any Security, type of Security or to any other transaction, the General Partner may allocate such income, gains, losses or expenses only to the Capital Accounts of Partners to whom such reasons do not apply. In addition, if for any of the reasons described above, the General Partner determines that a Partner should have no interest, or only a limited interest, in a particular Security, type of Security or transaction, the interests in such Security, type of Security or transaction may be set forth in a separate memorandum account in which only the Partners having an interest in such Security, type of Security or transaction shall have an interest and the income associated with such Security, type of Security or transaction. Any taxes which are paid by the Partnership with respect to any item of income or gain allocable to one or more Partners shall be debited from the Capital Accounts of such Partners in an equitable manner and taking into account such Partners’ proportionate share of any income related thereto.
New Issues. Notwithstanding any provision of this Agreement to the contrary, in the event that the Partnership invests in securities that are subject to the Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) or Rule 5131 New Issue Allocations and Distributions) and any succeeding rule (collectively, the “New Issues Rule”), such investment shall be made in accordance with all applicable FINRA rules, including the New Issues Rule. In furtherance, (but not limitation) of the preceding sentence, only those Limited Partners that have established through written representations satisfactory to the General Partner that they do not fall within the proscription of the New Issues Rule with regard to any specific securities shall have a beneficial interest in such securities through their interest in the Partnership.
New Issues. An existing company when intending to go in for expansion and is desirous to go in for public to raise capital, it would be in fitness of the thing to revalue assets prior to launching new issue, thereby increasing intrinsic value of shares. In fact this would help in fixation of higher premium amount charged by promoters attempting to bring public issue.
New Issues. In the event the Managers determine that, based upon tax or regulatory reasons, including, but not limited to, the FINRA rules on participation in “new issues,” or any other reason as to which the Managers and any Member agree, a Member should not participate, or participate only to a limited extent, in the income, gains, losses or expenses, if any, attributable to trading in any Security, type of Security or to any other transaction, the Managers may allocate such income, gains, losses or expenses only to the Capital Accounts of Members to whom such reasons do not apply. In addition, if for any of the reasons described above, the Managers determine that a Member should have no interest, or only a limited interest, in a particular Security, type of Security or transaction, the interests in such Security, type of Security or transaction may be set forth in a separate memorandum account in which only the Members having an interest in such Security, type of Security or transaction shall have an interest and the income associated with such Security, type of Security or transaction. Any taxes which are paid by the Company with respect to any item of income or gain allocable to one or more Members shall be debited from the Capital Accounts of such Members in an equitable manner and taking into account such Members’ proportionate share of any income related thereto.
